(a) A member shall make available to inspection by any bona fide regular customer, upon request, the information relative to such member's financial condition as disclosed in its most recent balance sheet prepared either in accordance with such member's usual practice or as required by any state or federal securities laws, or any rule or regulation thereunder. In lieu of making such
New Courses – April 2025AML Compliance: Account MonitoringRegulatory Concerns for New ProductsAnalyzing Investor GrowthAnnual 2025 AML Review2025 Annual Industry Priorities ReviewInvestor Trends: Exploring the Changing Investor Landscape2025 Supervisory Trends2025 Annual Compliance ReviewOn This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning
The Financial Crimes Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on how to detect and protect against emerging financial crimes and cyber-related threats and trends. These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.Upcoming WebinarsProtect Your Firm From
FINRA’s Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on
As you consider which types of financial professionals to work with, here’s what you need to know about accountants. Accountants are trained to provide professional assistance to individuals and companies in areas including tax and financial planning, tax reporting, auditing and management consulting.
Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
A clearing member may use negative response letters to assign orphan accounts to an introducing broker-dealer on the clearing member’s platform.
Dear Ms. Dyer:
I am responding to your letter dated March 10, 2023, as supplemented by conversations with the staff, in which you seek interpretive guidance regarding the use of negative response letters by National Financial Services LLC (“NFS”) to
Getting a pay raise can be exciting. While there’s nothing wrong with the occasional splurge (if you can afford it), consider dedicating part of your new pay hike to a long-term wealth-building strategy. Read on for how you might use the extra cash to maximize the impact of your raise.
